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Developing our leaders.
The only constant in our industry is change. There have been more regulations
enacted within the last couple of years than ever before. With the SEC,
FINRA, CBOE, MSRB and the state regulatory bodies, there are over fifty
different organizations enacting new requirements every year. How do you
stay ahead of the curve?
Providing our OSJ managers with all the tools, resources, and education
they need to be successful is what our OSJ manager training is all about.
Through our network, we are able to listen and talk with the individuals
driving the changes before they are enacted and we take pride in anticipating
and planning for new rules before they become effective. Our financial
professionals have an opportunity to read about these in communications
such as Juice, Compliance Alerts and Web updates. And, there is always
time to ask questions on our monthly OSJ Conference Calls and during our
educational sessions such as QuickStart Educational Conferences and our
OSJ Manager & Sales Support Trainings.
Proactive compliance is only one focus area when working with our OSJs.
We take the time to get to know what is important to each OSJ as we address
their specific challenges and goals. It is the dedication to developing
trusted relationships that makes our organization special. Our relationships
allow us to fine-tune business practices, communicate appropriately and
develop training and tools that support our OSJs. Whether it is recruiting
or streamlining supervision activities, developing our leaders is very
important to us.
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